American Skandia Investment Services, Inc. (Shelton)

Name: American Skandia Investment Services, Inc.
Address: One Corporate Drive, Shelton, CT, 06484
Telephone: 203-926-1888

American Skandia Investment Services, Inc. is a large advisory firm based in Shelton. It manages $34.59 billion of regulatory assets for 45 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Connecticut, Florida, and 8 other states.

American Skandia Investment Services provides portfolio management for investment companies and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

American Skandia Investment Services: assets under management

The assets under management (AUM) of American Skandia Investment Services, Inc. is $34.59 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 7% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $34.59 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $768.71 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay American Skandia Investment Services, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at American Skandia Investment Services, Inc.

Deborah Gorman Ullman has been acting as President since 1 Jul 1999. Valerie Simpson joined the executive team most recently as the Vice President And Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. American Skandia	Direct parent of american skandia investment services, inc.	1 Oct 1991	75% - 100%	06-1198540
Gordon Christopher Boronow	Deputy ceo	1 Oct 1991	Other	1970828
Thomas Michael Mazzaferro	President, cfo & director	1 Oct 1991	Other	1617344
Inc. Prudential Annuities	Direct parent of ast investment services, inc.	1 Oct 1991	75% - 100%	06-1198540
Nathan David Kuperstock	Director	1 Oct 1991	Other	1979986
Wade Adrian Dokken	Chief executive officer	1 Jun 1993	Other	1295088
Richard Gordon Davy	Vp, mutual fund operations	1 Sep 1994	Other	1085435
John Birch	Senior vp, coo & investment committee	1 Dec 1997	Other	2628693
Richard Daniel Levin	Vp, director of compliance & investment committee	1 Dec 1998	Other	4358542
Deborah Gorman Ullman	Director	1 Jul 1999	Other	2363407
Timothy Sean Cronin	Investment committee	1 Oct 2000	Other	2664443
Jeffrey Mark Ulness	Investment committee	1 Oct 2000	Other	4419633
Patricia Jean Abram	Executive v.p. & investment committee	1 May 2001	Other	866599
Michael Alfred Walton Murray	Investment committee	1 May 2001	Other	2338843
Lincoln Redman Collins	Director	1 May 2001	Other	1942964
Robert Kevin Leach	Investment committee	1 Sep 2001	Other	2775588
Edward Paul Macdonald	Senior counsel & investment committee	1 Dec 2001	Other	4512680
Robert George Whitcher	Director	1 Dec 2001	Other	4518240
Carl Allen Cavaliere	Vice president	1 Dec 2001	Other	2656262
Timothy David Rogers	Vice president	1 Jan 2002	Other	4518229
Hollie Christine Briggs	Investment committee	1 Apr 2002	Other	1849097
Charles Richard Shaw	Investment committee	1 Apr 2002	Other	4307628
Christopher Daniel Rosato	Investment committee	1 Apr 2002	Other	2592937
Craig J. Calderone	Investment committee	1 Apr 2002	Other	4538584
Judy Ann Rice	President, officer-in-charge, ceo, coo and director	1 May 2003	Other	67215
Robert Francis Gunia	Executive vice president, chief administrative officer and director	1 May 2003	Other	1367737
William Vincent Healey	Executive vice president & chief legal officer	1 May 2003	Other	1551214
Philip Nicholas Russo	Executive vice president, chief financial officer and director	1 May 2003	Other	4344967
Shaun Michael Byrnes	Executive vice president and director	1 May 2003	Other	2950855
Keitha Lee Kinne	Executive vice president and director	1 May 2003	Other	2039630
David Roehner Odenath	Executive vice president	1 May 2003	Other	872856
Kevin Burdick Osborn	Executive vice president and director	1 May 2003	Other	1697127
Lynn Mary Waldvogel	Executive vice president and director	1 May 2003	Other	1367662
Lee Duane Augsburger	Senior vice president & chief compliance officer	1 May 2003	Other	1657850
Marguerite Howard Morrison	Senior vice president & secretary	1 May 2003	Other	1754411
John Fleurant	Director, exec. vp, cfo	1 Mar 2004	Other	2683258
James Gerard Russell	Sr. vice president	1 Mar 2004	Other	1053157
Judy Ann Rice	Executive vice president & director	1 Jun 2005	Other	67215
David Roehner Odenath	President, officer-in-charge, ceo, coo and director	1 Jun 2005	Other	872856
Kathryn Loretta Quirk	Vice president, corporate counsel and assistant secretary(functions as chief legal officer)	1 Jun 2005	Other	2094907
Timothy Sean Cronin	Executive vice president & director	1 Jun 2005	Other	2664443
Michael Bohm	Vice president, chief financial officer & assistant treasurer	1 Mar 2006	Other	5123626
Valerie Simpson	Vice president and chief compliance officer	1 May 2007	Other	4659143

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Skandia Insurance Company Ltd.	Indirect parent	1 Oct 1991	75% - 100%	non-us entity
Skandia U.S. Holding Corporation	Indirect parent	1 Oct 1991	75% - 100%	22-2936425
Skandia Afs Development Holding Corporation	Indirect parent	1 Oct 1991	75% - 100%	13-3921265
Skandia U.S. Inc.	Indirect parent	1 Oct 1991	75% - 100%	13-3921265
Inc. Prudential Annuities Holding Company	Indirect parent	1 Oct 1991	75% - 100%	13-3921265
Inc. Prudential Financial	Shareholder	1 May 2003	75% - 100%	22-3703799

Based in Shelton

The principal office where American Skandia Investment Services, Inc. performs its advisory services is located at One Corporate Drive, Shelton, CT 06484, which is also the mailing address of the firm. An additional office of the firm is in Newark, NJ. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 203-926-1888 or by fax 203-402-3253. The normal business hours are 8:30 am to 5:30 pm on Monday - Friday. You can find more information about the New York firm at www.americanskandia.com.